81 FR 60649 - Filing of Complaints of Prohibited Personnel Practices or Other Prohibited Activities and Filing Disclosures of Information

OFFICE OF SPECIAL COUNSEL

Federal Register Volume 81, Issue 171 (September 2, 2016)

Page Range		60649-60651
FR Document		2016-20527
The U.S. Office of Special Counsel (OSC) proposes to revise its regulations regarding the filing of complaints and disclosures with OSC, and also to update the prohibited personnel practice provisions. In accordance with the Paperwork Reduction Act of 1995, and implementing Office of Management and Budget (OMB) regulations, OSC has also requested approval from OMB for a new, dynamic electronic form to be used for filing complaints and disclosures. This new form will replace Forms OSC-11, OSC-12, and OSC-13, which were previously approved by OMB. Access to the new electronic form relevant to this proposed rule has been submitted to the OMB for review.
Federal Register, Volume 81 Issue 171 (Friday, September 2, 2016)
[Federal Register Volume 81, Number 171 (Friday, September 2, 2016)]
[Proposed Rules]
[Pages 60649-60651]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-20527]


========================================================================
Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of 
the proposed issuance of rules and regulations. The purpose of these 
notices is to give interested persons an opportunity to participate in 
the rule making prior to the adoption of the final rules.

========================================================================


Federal Register / Vol. 81, No. 171 / Friday, September 2, 2016 / 
Proposed Rules

[[Page 60649]]



OFFICE OF SPECIAL COUNSEL

5 CFR Part 1800


Filing of Complaints of Prohibited Personnel Practices or Other 
Prohibited Activities and Filing Disclosures of Information

AGENCY: U.S. Office of Special Counsel.

ACTION: Notice of proposed rulemaking and related information 
collection activity.

-----------------------------------------------------------------------

SUMMARY: The U.S. Office of Special Counsel (OSC) proposes to revise 
its regulations regarding the filing of complaints and disclosures with 
OSC, and also to update the prohibited personnel practice provisions. 
In accordance with the Paperwork Reduction Act of 1995, and 
implementing Office of Management and Budget (OMB) regulations, OSC has 
also requested approval from OMB for a new, dynamic electronic form to 
be used for filing complaints and disclosures. This new form will 
replace Forms OSC-11, OSC-12, and OSC-13, which were previously 
approved by OMB. Access to the new electronic form relevant to this 
proposed rule has been submitted to the OMB for review.

DATES: Written comments must be received by November 1, 2016. Note, 
however, that OMB is required to act on the collection of information 
discussed in this proposed rule between 30 and 60 days after this 
notice's publication in the Federal Register. Therefore, comments are 
best assured of having full effect if received by OMB within 30 days of 
this notice's publication in the Federal Register.

ADDRESSES: You may submit comments by any of methods listed below. 
Comments received may be posted to http://www.regulations.gov.
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments;
     Office of Information and Regulatory Affairs, Office of 
Management and Budget, by email via: [email protected]; or 
to
     Office of Information and Regulatory Affairs, Office of 
Management and Budget, Attention: Desk Officer for OSC, New Executive 
Office Building, Room 10235, Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Kenneth Hendricks, Associate General 
Counsel, U.S. Office of Special Counsel, by telephone at 202-254-3600, 
by facsimile at (202) 254-3711, or by email at [email protected].

SUPPLEMENTARY INFORMATION: 

Background

    The proposed rule makes minor changes to the existing language in 5 
CFR 1800.1(c)(1) through (5) and (d), and 1800.2(b)(1) and (2) by 
replacing references to, and information about, the old OSC forms with 
references to, and information about, forms established by OSC. The 
language in the proposed rule refers to forms established by OSC, and 
it covers the new form that OSC submitted to OMB for approval. The 
proposed rule will enable us to revise our forms in the future, while 
still providing for public notice and OMB's review of future revisions. 
The proposed rule also updates the prohibited personnel practice 
provisions, at 5 CFR 1800.1(a)(13), based on the requirements of 5 
U.S.C. 2302(b)(13) regarding nondisclosure forms, policies, or 
agreements. Comments are invited on the proposed rule and the new form.
    OSC is an independent agency responsible for, among other things, 
(1) investigation of allegations of prohibited personnel practices 
defined by law at 5 U.S.C. 2302(b), protection of whistleblowers, and 
certain other illegal employment practices under titles 5 and 38 of the 
U.S. Code, affecting current or former Federal employees or applicants 
for employment, and covered state and local government employees; and 
(2) the interpretation and enforcement of Hatch Act provisions on 
political activity in chapters 15 and 73 of title 5 of the U.S. Code.

Procedural Determinations

    Administrative Procedure Act (APA): This action is taken under the 
Special Counsel's authority at 5 U.S.C. 1212(e) to publish regulations 
in the Federal Register.
    Executive Order 12866 (Regulatory Planning and Review): OSC does 
not anticipate that this proposed rule will have significant economic 
impact, raise novel issues, and/or have any other significant impacts. 
Thus this proposed rule is not a significant regulatory action under 
3(f) of Executive Order 12866 and does not require an assessment of 
potential costs and benefits under 6(a)(3) of the Order.
    Congressional Review Act (CRA): OSC has determined that this 
proposed rule is not a major rule under the Congressional Review Act, 
as it is unlikely to result in an annual effect on the economy of $100 
million or more; is unlikely to result in a major increase in costs or 
prices for consumers, individual industries, federal, state, or local 
government agencies or geographic regions; and is unlikely to have a 
significant adverse effect on competition, employment, investment, 
productivity, or innovation, or on the ability of U.S.-based 
enterprises to compete in domestic and export markets.
    Regulatory Flexibility Act (RFA): The Regulatory Flexibility Act 
does not apply, even though this proposed rule is being offered for 
notice and comment procedures under the APA. This proposed rule will 
not directly regulate small entities. OSC therefore need not perform a 
regulatory flexibility analysis of small entity impacts.
    Unfunded Mandates Reform Act (UMRA): This proposed revision does 
not impose any federal mandates on state, local, or tribal governments, 
or on the private sector within the meaning of the UMRA.
    National Environmental Policy Act (NEPA): This proposed rule will 
have no physical impact upon the environment and therefore will not 
require any further review under NEPA.
    Paperwork Reduction Act (PRA): As noted above, OSC is submitting 
this proposed rule and collection to OMB for review pursuant to the 
Paperwork Reduction Act, 44 U.S.C. 3501, et seq. Comments are invited 
on: (a) Whether the proposed collection of information is necessary for 
the proper performance of OSC functions, including whether the 
information will have practical utility; (b) the accuracy of OSC's 
estimate of the burden of the proposed collection of information; (c) 
ways to enhance the quality, utility, and clarity of the information to 
be collected; and (d) ways to minimize the burden of the collection of 
information on

[[Page 60650]]

respondents, including through the use of automated collection 
techniques or other forms of information technology. The new form can 
be reviewed at https://dev.osc.gov/pages/osctest.aspx.
    Title of Collection: Form 14: Electronic Submission of Allegations 
and Disclosures Access to the new electronic form is available at: 
https://dev.osc.gov/pages/osctest.aspx.
    Type of Information Collection Request: Approval of new collection 
of information to replace previously-approved collection of 
information.
    Affected Public: Current and former Federal employees, applicants 
for Federal employment, state and local government employees, and their 
representatives, and the general public.
    Respondent's Obligation: Voluntary.
    Estimated Annual Number of Form OSC-14 Respondents: 6000 (estimated 
prohibited personnel practice filers = 4000; estimated disclosure 
filers = 1835; and estimated Hatch Act filers = 165). These estimates 
are based on a review of recent Annual Reports and an analysis of 
developing trends for this year.
    Frequency of Use of Form OSC-14: Daily.
    Estimated Average Amount of Time for a Person To Respond Using Form 
OSC-14: For prohibited personnel practice allegations, one hour and 15 
minutes; for whistleblower disclosures, one hour; and for Hatch Act 
allegations, 30 minutes to complete the form in each of the years 
covered by this request. These estimates are based on testing completed 
by OSC employees during the development of the collection form.
    Estimated Annual Burden for Filing Form OSC-14: 6917.5 hours.
    Abstract: The electronic form will be used by current and former 
Federal employees and applicants for Federal employment to submit 
allegations of possible prohibited personnel practices or other 
prohibited activity for investigation and possible prosecution by OSC, 
or review and possible referral to relevant Inspector General offices.
    Executive Order 13132 (Federalism): This proposed revision does not 
have new federalism implications under Executive Order 13132.
    Executive Order 12988 (Civil Justice Reform): This proposed rule 
meets applicable standards of 3(a) and 3(b)(2) of Executive Order 
12988.

List of Subjects in 5 CFR Part 1800

    Filing of complaints and allegations.

    For the reasons stated in the preamble, OSC proposes to revise 5 
CFR part 1800 as follows:

PART 1800--FILING OF COMPLAINTS AND ALLEGATIONS

0
1. The authority citation for 5 CFR part 1800 continues to read as 
follows:

    Authority: 5 U.S.C. 1212(e).

0
2. Section 1800.1 is revised to read as follows:


Sec.  1800.1   Filing complaints of prohibited personnel practices or 
other prohibited activities.

    (a) Prohibited personnel practices. The Office of Special Counsel 
(OSC) has investigative jurisdiction over the following prohibited 
personnel practices committed against current or former Federal 
employees and applicants for Federal employment:
    (1) Discrimination, including discrimination based on marital 
status or political affiliation (see Sec.  1810.1 of this chapter for 
information about OSC's deferral policy);
    (2) Soliciting or considering improper recommendations or 
statements about individuals requesting, or under consideration for, 
personnel actions;
    (3) Coercing political activity, or engaging in reprisal for 
refusal to engage in political activity;
    (4) Deceiving or obstructing anyone with respect to competition for 
employment;
    (5) Influencing anyone to withdraw from competition to improve or 
injure the employment prospects of another;
    (6) Granting an unauthorized preference or advantage to improve or 
injure the employment prospects of another;
    (7) Nepotism;
    (8) Reprisal for whistleblowing (whistleblowing is generally 
defined as the disclosure of information about a Federal agency by an 
employee or applicant who reasonably believes that the information 
shows a violation of any law, rule, or regulation; gross mismanagement; 
gross waste of funds; abuse of authority; or a substantial and specific 
danger to public health or safety);
    (9) Reprisal for:
    (i) Exercising certain appeal rights;
    (ii) Providing testimony or other assistance to persons exercising 
appeal rights;
    (iii) Cooperating with the Special Counsel or an Inspector General; 
or
    (iv) Refusing to obey an order that would require the violation of 
law;
    (10) Discrimination based on personal conduct not adverse to job 
performance;
    (11) Violation of a veterans' preference requirement;
    (12) Taking or failing to take a personnel action in violation of 
any law, rule, or regulation implementing or directly concerning merit 
system principles at 5 U.S.C. 2301(b); and
    (13) Implementing or enforcing nondisclosure policies, forms, or 
agreements that do not contain the statement required by 5 U.S.C. 
2302(b)(13).
    (b) Other prohibited activities. OSC also has investigative 
jurisdiction over allegations of the following prohibited activities:
    (1) Violation of the Federal Hatch Act at title 5 of the U.S. Code, 
chapter 73, subchapter III;
    (2) Violation of the state and local Hatch Act at title 5 of the 
U.S. Code, chapter 15;
    (3) Arbitrary and capricious withholding of information prohibited 
under the Freedom of Information Act at 5 U.S.C. 552 (except for 
certain foreign and counterintelligence information);
    (4) Activities prohibited by any civil service law, rule, or 
regulation, including any activity relating to political intrusion in 
personnel decision making;
    (5) Involvement by any employee in any prohibited discrimination 
found by any court or appropriate administrative authority to have 
occurred in the course of any personnel action (unless the Special 
Counsel determines that the allegation may be resolved more 
appropriately under an administrative appeals procedure); and
    (6) Violation of uniformed services employment and reemployment 
rights under 38 U.S.C. 4301, et seq.
    (c) Procedures for filing complaints alleging prohibited personnel 
practices or other prohibited activities (other than the Hatch Act). 
(1) Current or former Federal employees, and applicants for Federal 
employment, may file a complaint with OSC alleging one or more 
prohibited personnel practices, or other prohibited activities within 
OSC's investigative jurisdiction. The Form established by OSC must be 
used to file all such complaints (except those limited to an allegation 
or allegations of a Hatch Act violation--see paragraph (d) of this 
section for information on filing Hatch Act complaints).
    (2) Forms filed in connection with allegations of reprisal for 
whistleblowing must identify:
    (i) Each disclosure involved;
    (ii) The date of each disclosure;
    (iii) The person to whom each disclosure was made; and
    (iv) The type and date of any personnel action that occurred 
because of each disclosure.
    (3) Except for complaints limited to alleged violation(s) of the 
Hatch Act, OSC will not process a complaint filed

[[Page 60651]]

in any format other than a completed OSC Form. If a filer does not use 
the OSC Form to submit a complaint, OSC will provide the filer with 
information about the Form. The complaint will be considered to be 
filed on the date on which OSC receives a completed Form.
    (4) The OSC Form is available:
    (i) Online, at: http://www.osc.gov (to complete online);
    (ii) By calling OSC, at: (800) 872-9855 (toll-free), or (202) 653-
7188 (in the Washington, DC area); or
    (iii) By writing to OSC, at: U.S. Office of Special Counsel, 
Complaints Examining Unit, 1730 M Street NW., Suite 218, Washington, DC 
20036-4505.
    (5) A complainant can file a completed Form with OSC by any of the 
following methods:
    (i) Electronically, at: http://www.osc.gov (for completion and 
filing electronically);
    (ii) By fax, to: (202) 653-5151; or
    (iii) By mail, to: U.S. Office of Special Counsel, Complaints 
Examining Unit, 1730 M Street NW., Suite 218, Washington, DC 20036-
4505.
    (d) Procedures for filing complaints alleging violation of the 
Hatch Act. (1) Complaints alleging a violation of the Hatch Act may be 
submitted in any written form, but use of the Form established by OSC 
is encouraged. Complaints should include:
    (i) The complainant's name, mailing address, telephone number, and 
a time when OSC can contact that person about his or her complaint 
(unless the matter is submitted anonymously);
    (ii) The department or agency, location, and organizational unit 
complained of; and
    (iii) A concise description of the actions complained about, names 
and positions of employees who took the actions, if known to the 
complainant, and dates of the actions, preferably in chronological 
order, together with any documentary evidence that the complainant can 
provide.
    (2) The OSC Form for filing a complaint is available as described 
in paragraphs (c)(4)(i) through (iii) of this section.
    (3) A written Hatch Act complaint can be filed with OSC by any of 
the methods listed in paragraphs (c)(5)(i) through (iii) of this 
section.
0
3. Section 1800.2 is revised to read as follows:


Sec.  1800.2   Filing disclosures of information.

    (a) General. OSC is authorized by law (at 5 U.S.C. 1213) to provide 
an independent and secure channel for use by current or former Federal 
employees and applicants for Federal employment in disclosing 
information that they reasonably believe shows wrongdoing by a Federal 
agency. OSC must determine whether there is a substantial likelihood 
that the information discloses a violation of any law, rule, or 
regulation; gross mismanagement; gross waste of funds; abuse of 
authority; or a substantial and specific danger to public health or 
safety. If it does, the law requires OSC to refer the information to 
the agency head involved for investigation and a written report on the 
findings to the Special Counsel. The law does not authorize OSC to 
investigate the subject of a disclosure.
    (b) Procedures for filing disclosures. Current or former Federal 
employees, and applicants for Federal employment, may file a disclosure 
of the type of information described in paragraph (a) of this section 
with OSC. Such disclosures must be filed in writing (including 
electronically--see paragraph (b)(3)(i) of this section).
    (1) Filers are encouraged to use the Form established by OSC to 
file a disclosure of the type of information described in paragraph (a) 
of this section with OSC. The Form provides more information about OSC 
jurisdiction, and procedures for processing whistleblower disclosures. 
The Form is available:
    (i) Online, at: http://www.osc.gov (to complete online);
    (ii) By calling OSC, at: (800) 572-2249 (toll-free), or (202) 653-
9125 (in the Washington, DC area); or
    (iii) By writing to OSC, at: U.S. Office of Special Counsel, 
Disclosure Unit, 1730 M Street NW., Suite 218, Washington, DC 20036-
4505.
    (2) Filers may use another written format to submit a disclosure to 
OSC, but the submission should include:
    (i) The name, mailing address, and telephone number(s) of the 
person(s) making the disclosure(s), and a time when OSC can contact 
that person about his or her disclosure;
    (ii) The department or agency, location and organizational unit 
complained of; and
    (iii) A statement as to whether the filer consents to disclosure of 
his or her identity by OSC to the agency involved, in connection with 
any OSC referral to that agency.
    (3) A disclosure can be filed in writing with OSC by any of the 
following methods:
    (i) Electronically, at: http://www.osc.gov (for completion and 
filing electronically);
    (ii) By fax, to: (202) 653-5151; or
    (iii) By mail, to: U.S. Office of Special Counsel, Disclosure Unit, 
1730 M Street NW., Suite 218, Washington, DC 20036-4505.

    Dated: August 22, 2016.
Mark Cohen,
Principal Deputy Special Counsel.
[FR Doc. 2016-20527 Filed 9-1-16; 8:45 am]
 BILLING CODE 7405-01-P
60649

Proposed Rules Federal Register
Vol. 81, No. 171

Friday, September 2, 2016

This section of the FEDERAL REGISTER • Office of Information and have significant economic impact, raise
contains notices to the public of the proposed Regulatory Affairs, Office of novel issues, and/or have any other
issuance of rules and regulations. The Management and Budget, Attention: significant impacts. Thus this proposed
purpose of these notices is to give interested Desk Officer for OSC, New Executive rule is not a significant regulatory action
persons an opportunity to participate in the Office Building, Room 10235, under 3(f) of Executive Order 12866 and
rule making prior to the adoption of the final
rules.
Washington, DC 20503. does not require an assessment of
FOR FURTHER INFORMATION CONTACT: potential costs and benefits under
Kenneth Hendricks, Associate General 6(a)(3) of the Order.
OFFICE OF SPECIAL COUNSEL Counsel, U.S. Office of Special Counsel, Congressional Review Act (CRA): OSC
by telephone at 202–254–3600, by has determined that this proposed rule
5 CFR Part 1800 facsimile at (202) 254–3711, or by email is not a major rule under the
at khendricks@osc.gov. Congressional Review Act, as it is
Filing of Complaints of Prohibited unlikely to result in an annual effect on
SUPPLEMENTARY INFORMATION:
Personnel Practices or Other the economy of $100 million or more; is
Prohibited Activities and Filing Background unlikely to result in a major increase in
Disclosures of Information costs or prices for consumers,
The proposed rule makes minor
AGENCY: U.S. Office of Special Counsel. changes to the existing language in 5 individual industries, federal, state, or
ACTION: Notice of proposed rulemaking CFR 1800.1(c)(1) through (5) and (d), local government agencies or geographic
and related information collection and 1800.2(b)(1) and (2) by replacing regions; and is unlikely to have a
activity. references to, and information about, the significant adverse effect on
old OSC forms with references to, and competition, employment, investment,
SUMMARY: The U.S. Office of Special information about, forms established by productivity, or innovation, or on the
Counsel (OSC) proposes to revise its OSC. The language in the proposed rule ability of U.S.-based enterprises to
regulations regarding the filing of refers to forms established by OSC, and compete in domestic and export
complaints and disclosures with OSC, it covers the new form that OSC markets.
and also to update the prohibited submitted to OMB for approval. The Regulatory Flexibility Act (RFA): The
personnel practice provisions. In proposed rule will enable us to revise Regulatory Flexibility Act does not
accordance with the Paperwork our forms in the future, while still apply, even though this proposed rule is
Reduction Act of 1995, and providing for public notice and OMB’s being offered for notice and comment
implementing Office of Management review of future revisions. The proposed procedures under the APA. This
and Budget (OMB) regulations, OSC has rule also updates the prohibited proposed rule will not directly regulate
also requested approval from OMB for a personnel practice provisions, at 5 CFR small entities. OSC therefore need not
new, dynamic electronic form to be 1800.1(a)(13), based on the requirements perform a regulatory flexibility analysis
used for filing complaints and of 5 U.S.C. 2302(b)(13) regarding of small entity impacts.
disclosures. This new form will replace nondisclosure forms, policies, or Unfunded Mandates Reform Act
Forms OSC–11, OSC–12, and OSC–13, agreements. Comments are invited on (UMRA): This proposed revision does
which were previously approved by the proposed rule and the new form. not impose any federal mandates on
OMB. Access to the new electronic form OSC is an independent agency state, local, or tribal governments, or on
relevant to this proposed rule has been responsible for, among other things, (1) the private sector within the meaning of
submitted to the OMB for review. investigation of allegations of prohibited the UMRA.
DATES: Written comments must be personnel practices defined by law at 5 National Environmental Policy Act
received by November 1, 2016. Note, U.S.C. 2302(b), protection of (NEPA): This proposed rule will have
however, that OMB is required to act on whistleblowers, and certain other illegal no physical impact upon the
the collection of information discussed employment practices under titles 5 and environment and therefore will not
in this proposed rule between 30 and 60 38 of the U.S. Code, affecting current or require any further review under NEPA.
days after this notice’s publication in former Federal employees or applicants Paperwork Reduction Act (PRA): As
the Federal Register. Therefore, for employment, and covered state and noted above, OSC is submitting this
comments are best assured of having local government employees; and (2) the proposed rule and collection to OMB for
full effect if received by OMB within 30 interpretation and enforcement of Hatch review pursuant to the Paperwork
days of this notice’s publication in the Act provisions on political activity in Reduction Act, 44 U.S.C. 3501, et seq.
Federal Register. chapters 15 and 73 of title 5 of the U.S. Comments are invited on: (a) Whether
ADDRESSES: You may submit comments Code. the proposed collection of information
by any of methods listed below. is necessary for the proper performance
Procedural Determinations of OSC functions, including whether the
Comments received may be posted to
Administrative Procedure Act (APA): information will have practical utility;
Lhorne on DSK30JT082PROD with PROPOSALS

http://www.regulations.gov.
• Federal eRulemaking Portal: http:// This action is taken under the Special (b) the accuracy of OSC’s estimate of the
www.regulations.gov. Follow the Counsel’s authority at 5 U.S.C. 1212(e) burden of the proposed collection of
instructions for submitting comments; to publish regulations in the Federal information; (c) ways to enhance the
• Office of Information and Register. quality, utility, and clarity of the
Regulatory Affairs, Office of Executive Order 12866 (Regulatory information to be collected; and (d)
Management and Budget, by email via: Planning and Review): OSC does not ways to minimize the burden of the
oira_submissions@omb.eop.gov; or to anticipate that this proposed rule will collection of information on

VerDate Sep<11>2014 15:10 Sep 01, 2016 Jkt 238001 PO 00000 Frm 00001 Fmt 4702 Sfmt 4702 E:\FR\FM\02SEP1.SGM 02SEP1
60650 Federal Register / Vol. 81, No. 171 / Friday, September 2, 2016 / Proposed Rules

respondents, including through the use PART 1800—FILING OF COMPLAINTS rule, or regulation implementing or
of automated collection techniques or AND ALLEGATIONS directly concerning merit system
other forms of information technology. principles at 5 U.S.C. 2301(b); and
The new form can be reviewed at ■ 1. The authority citation for 5 CFR (13) Implementing or enforcing
https://dev.osc.gov/pages/osctest.aspx. part 1800 continues to read as follows: nondisclosure policies, forms, or
Title of Collection: Form 14: Authority: 5 U.S.C. 1212(e). agreements that do not contain the
Electronic Submission of Allegations statement required by 5 U.S.C.
■ 2. Section 1800.1 is revised to read as 2302(b)(13).
and Disclosures Access to the new
follows: (b) Other prohibited activities. OSC
electronic form is available at: https://
dev.osc.gov/pages/osctest.aspx. § 1800.1 Filing complaints of prohibited also has investigative jurisdiction over
Type of Information Collection personnel practices or other prohibited allegations of the following prohibited
Request: Approval of new collection of activities. activities:
information to replace previously- (a) Prohibited personnel practices. (1) Violation of the Federal Hatch Act
approved collection of information. The Office of Special Counsel (OSC) has at title 5 of the U.S. Code, chapter 73,
investigative jurisdiction over the subchapter III;
Affected Public: Current and former
following prohibited personnel (2) Violation of the state and local
Federal employees, applicants for
practices committed against current or Hatch Act at title 5 of the U.S. Code,
Federal employment, state and local
former Federal employees and chapter 15;
government employees, and their (3) Arbitrary and capricious
representatives, and the general public. applicants for Federal employment:
withholding of information prohibited
Respondent’s Obligation: Voluntary. (1) Discrimination, including
under the Freedom of Information Act at
Estimated Annual Number of Form discrimination based on marital status
5 U.S.C. 552 (except for certain foreign
OSC–14 Respondents: 6000 (estimated or political affiliation (see § 1810.1 of
and counterintelligence information);
prohibited personnel practice filers = this chapter for information about OSC’s (4) Activities prohibited by any civil
4000; estimated disclosure filers = 1835; deferral policy); service law, rule, or regulation,
and estimated Hatch Act filers = 165). (2) Soliciting or considering improper including any activity relating to
These estimates are based on a review recommendations or statements about political intrusion in personnel decision
of recent Annual Reports and an individuals requesting, or under making;
analysis of developing trends for this consideration for, personnel actions; (5) Involvement by any employee in
year. (3) Coercing political activity, or any prohibited discrimination found by
Frequency of Use of Form OSC–14: engaging in reprisal for refusal to engage any court or appropriate administrative
Daily. in political activity; authority to have occurred in the course
Estimated Average Amount of Time (4) Deceiving or obstructing anyone of any personnel action (unless the
for a Person To Respond Using Form with respect to competition for Special Counsel determines that the
OSC–14: For prohibited personnel employment; allegation may be resolved more
practice allegations, one hour and 15 (5) Influencing anyone to withdraw appropriately under an administrative
minutes; for whistleblower disclosures, from competition to improve or injure appeals procedure); and
one hour; and for Hatch Act allegations, the employment prospects of another; (6) Violation of uniformed services
30 minutes to complete the form in each (6) Granting an unauthorized employment and reemployment rights
of the years covered by this request. preference or advantage to improve or under 38 U.S.C. 4301, et seq.
These estimates are based on testing injure the employment prospects of (c) Procedures for filing complaints
completed by OSC employees during another; alleging prohibited personnel practices
the development of the collection form. (7) Nepotism; or other prohibited activities (other than
(8) Reprisal for whistleblowing the Hatch Act). (1) Current or former
Estimated Annual Burden for Filing
(whistleblowing is generally defined as Federal employees, and applicants for
Form OSC–14: 6917.5 hours.
the disclosure of information about a Federal employment, may file a
Abstract: The electronic form will be Federal agency by an employee or
used by current and former Federal complaint with OSC alleging one or
applicant who reasonably believes that more prohibited personnel practices, or
employees and applicants for Federal the information shows a violation of any
employment to submit allegations of other prohibited activities within OSC’s
law, rule, or regulation; gross investigative jurisdiction. The Form
possible prohibited personnel practices mismanagement; gross waste of funds;
or other prohibited activity for established by OSC must be used to file
abuse of authority; or a substantial and all such complaints (except those
investigation and possible prosecution specific danger to public health or
by OSC, or review and possible referral limited to an allegation or allegations of
safety); a Hatch Act violation—see paragraph (d)
to relevant Inspector General offices. (9) Reprisal for:
Executive Order 13132 (Federalism): of this section for information on filing
(i) Exercising certain appeal rights; Hatch Act complaints).
This proposed revision does not have (ii) Providing testimony or other
new federalism implications under (2) Forms filed in connection with
assistance to persons exercising appeal allegations of reprisal for
Executive Order 13132. rights; whistleblowing must identify:
Executive Order 12988 (Civil Justice (iii) Cooperating with the Special (i) Each disclosure involved;
Reform): This proposed rule meets Counsel or an Inspector General; or (ii) The date of each disclosure;
applicable standards of 3(a) and 3(b)(2) (iv) Refusing to obey an order that (iii) The person to whom each
Lhorne on DSK30JT082PROD with PROPOSALS

of Executive Order 12988. would require the violation of law; disclosure was made; and
List of Subjects in 5 CFR Part 1800 (10) Discrimination based on personal (iv) The type and date of any
conduct not adverse to job performance; personnel action that occurred because
Filing of complaints and allegations. (11) Violation of a veterans’ of each disclosure.
For the reasons stated in the preference requirement; (3) Except for complaints limited to
preamble, OSC proposes to revise 5 CFR (12) Taking or failing to take a alleged violation(s) of the Hatch Act,
part 1800 as follows: personnel action in violation of any law, OSC will not process a complaint filed

VerDate Sep<11>2014 15:10 Sep 01, 2016 Jkt 238001 PO 00000 Frm 00002 Fmt 4702 Sfmt 4702 E:\FR\FM\02SEP1.SGM 02SEP1
Federal Register / Vol. 81, No. 171 / Friday, September 2, 2016 / Proposed Rules 60651

in any format other than a completed reasonably believe shows wrongdoing Dated: August 22, 2016.
OSC Form. If a filer does not use the by a Federal agency. OSC must Mark Cohen,
OSC Form to submit a complaint, OSC determine whether there is a substantial Principal Deputy Special Counsel.
will provide the filer with information likelihood that the information discloses [FR Doc. 2016–20527 Filed 9–1–16; 8:45 am]
about the Form. The complaint will be a violation of any law, rule, or BILLING CODE 7405–01–P
considered to be filed on the date on regulation; gross mismanagement; gross
which OSC receives a completed Form. waste of funds; abuse of authority; or a
(4) The OSC Form is available: substantial and specific danger to public SECURITIES AND EXCHANGE
(i) Online, at: http://www.osc.gov (to health or safety. If it does, the law COMMISSION
complete online); requires OSC to refer the information to
(ii) By calling OSC, at: (800) 872–9855 the agency head involved for 17 CFR Part 275
(toll-free), or (202) 653–7188 (in the investigation and a written report on the
Washington, DC area); or findings to the Special Counsel. The law [Release No. IA–4512; File No. S7–17–16]
(iii) By writing to OSC, at: U.S. Office does not authorize OSC to investigate
of Special Counsel, Complaints Political Contributions by Certain
the subject of a disclosure. Investment Advisers: Ban on Third-
Examining Unit, 1730 M Street NW., (b) Procedures for filing disclosures.
Suite 218, Washington, DC 20036–4505. Party Solicitation; Notice of Order With
Current or former Federal employees,
(5) A complainant can file a Respect to MSRB Rule G–37
and applicants for Federal employment,
completed Form with OSC by any of the may file a disclosure of the type of AGENCY: Securities and Exchange
following methods: information described in paragraph (a) Commission.
(i) Electronically, at: http:// of this section with OSC. Such ACTION: Notice of intent to issue order.
www.osc.gov (for completion and filing disclosures must be filed in writing
electronically); (including electronically—see paragraph SUMMARY: The Securities and Exchange
(ii) By fax, to: (202) 653–5151; or (b)(3)(i) of this section). Commission (‘‘Commission’’ or ‘‘SEC’’)
(iii) By mail, to: U.S. Office of Special (1) Filers are encouraged to use the intends to issue an order pursuant to
Counsel, Complaints Examining Unit, Form established by OSC to file a section 206 of the Investment Advisers
1730 M Street NW., Suite 218, disclosure of the type of information Act of 1940 (the ‘‘Advisers Act’’) and
Washington, DC 20036–4505. described in paragraph (a) of this rule 206(4)–5 thereunder (the ‘‘SEC Pay
(d) Procedures for filing complaints section with OSC. The Form provides to Play Rule’’) finding that the
alleging violation of the Hatch Act. (1) more information about OSC Municipal Securities Rulemaking Board
Complaints alleging a violation of the jurisdiction, and procedures for (‘‘MSRB’’) rule G–37 (the ‘‘MSRB Pay to
Hatch Act may be submitted in any processing whistleblower disclosures. Play Rule’’) imposes substantially
written form, but use of the Form The Form is available: equivalent or more stringent restrictions
established by OSC is encouraged. (i) Online, at: http://www.osc.gov (to on municipal advisors than the SEC Pay
Complaints should include: complete online); to Play Rule imposes on investment
(i) The complainant’s name, mailing (ii) By calling OSC, at: (800) 572–2249 advisers and is consistent with the
address, telephone number, and a time (toll-free), or (202) 653–9125 (in the objectives of the SEC Pay to Play Rule.
when OSC can contact that person about Washington, DC area); or DATES: Hearing requests should be
his or her complaint (unless the matter (iii) By writing to OSC, at: U.S. Office received by the Commission by 5:30
is submitted anonymously); of Special Counsel, Disclosure Unit, p.m. on September 19, 2016.
(ii) The department or agency, 1730 M Street NW., Suite 218, ADDRESSES: Secretary, Securities and
location, and organizational unit Washington, DC 20036–4505. Exchange Commission, 100 F Street NE.,
complained of; and (2) Filers may use another written Washington, DC 20549–1090.
(iii) A concise description of the format to submit a disclosure to OSC,
actions complained about, names and FOR FURTHER INFORMATION CONTACT:
but the submission should include:
positions of employees who took the (i) The name, mailing address, and Sirimal R. Mukerjee, Senior Counsel,
actions, if known to the complainant, telephone number(s) of the person(s) Melissa Roverts Harke, Senior Special
and dates of the actions, preferably in making the disclosure(s), and a time Counsel, or Sara Cortes, Assistant
chronological order, together with any when OSC can contact that person about Director, at (202) 551–6787 or IArules@
documentary evidence that the his or her disclosure; sec.gov, Investment Adviser Regulation
complainant can provide. (ii) The department or agency, Office, Division of Investment
(2) The OSC Form for filing a location and organizational unit Management, Securities and Exchange
complaint is available as described in complained of; and Commission, 100 F Street NE.,
paragraphs (c)(4)(i) through (iii) of this (iii) A statement as to whether the Washington, DC 20549–8549.
section. filer consents to disclosure of his or her SUPPLEMENTARY INFORMATION:
(3) A written Hatch Act complaint can identity by OSC to the agency involved, Hearing or Notification of Hearing
be filed with OSC by any of the methods in connection with any OSC referral to
listed in paragraphs (c)(5)(i) through (iii) that agency. An order will be issued unless the
of this section. (3) A disclosure can be filed in Commission orders a hearing. Interested
■ 3. Section 1800.2 is revised to read as writing with OSC by any of the persons may request a hearing by
follows: following methods: writing to the Commission’s Secretary.
Hearing requests should be received by
Lhorne on DSK30JT082PROD with PROPOSALS

(i) Electronically, at: http://
§ 1800.2 Filing disclosures of information. www.osc.gov (for completion and filing the Commission by 5:30 p.m. on
(a) General. OSC is authorized by law electronically); September 19, 2016. Pursuant to rule 0–
(at 5 U.S.C. 1213) to provide an (ii) By fax, to: (202) 653–5151; or 5 under the Advisers Act, hearing
independent and secure channel for use (iii) By mail, to: U.S. Office of Special requests should state the nature of the
by current or former Federal employees Counsel, Disclosure Unit, 1730 M Street writer’s interest, any facts bearing upon
and applicants for Federal employment NW., Suite 218, Washington, DC 20036– the desirability of a hearing on the
in disclosing information that they 4505. matter, the reason for the request, and

VerDate Sep<11>2014 15:10 Sep 01, 2016 Jkt 238001 PO 00000 Frm 00003 Fmt 4702 Sfmt 4702 E:\FR\FM\02SEP1.SGM 02SEP1
Document Created: 2018-02-09 11:55:50
Document Modified: 2018-02-09 11:55:50
Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Proposed Rules
Action		Notice of proposed rulemaking and related information collection activity.
Dates		Written comments must be received by November 1, 2016. Note, however, that OMB is required to act on the collection of information discussed in this proposed rule between 30 and 60 days after this notice's publication in the Federal Register. Therefore, comments are best assured of having full effect if received by OMB within 30 days of this notice's publication in the Federal Register.
Contact		Kenneth Hendricks, Associate General Counsel, U.S. Office of Special Counsel, by telephone at 202-254-3600, by facsimile at (202) 254-3711, or by email at [email protected]
FR Citation		81 FR 60649